CAPR

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 8

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,500 shares

Expires 2029-08-08

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F1 · derivative.exercise_date: 3,000 of the shares were vested on the date of grant. The remaining 1,500 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 7

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,904

Underlying: Common Stock · 27,904 shares

Expires 2022-04-27

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 6

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,401

Underlying: Common Stock · 1,401 shares

Expires 2023-03-06

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 5

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2025-03-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 4

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2026-06-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 3

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,356

Underlying: Common Stock · 2,356 shares

Expires 2027-01-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F4 · derivative.exercise_date: 856 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. The remaining 1,500 shares will vest 1/12th on the first day of each month, commencing February 1, 2017, with the last month vesting on December 31, 2017. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 2

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,550

Underlying: Common Stock · 2,550 shares

Expires 2028-01-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F3 · derivative.exercise_date: 1,050 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 1,500 shares will vest 1/12th on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022104 · tm208086d7_4.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

Underlying: Common Stock · 4,500 shares

Expires 2029-08-08

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F1 · derivative.exercise_date: 3,000 of the shares were vested on the date of grant. The remaining 1,500 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 12

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,178 shares

Expires 2023-10-23

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 11

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2025-03-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 10

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2026-06-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing July 1, 2016, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 9

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,500 shares

Expires 2027-01-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F4 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 8

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2028-01-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F3 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 7

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,000 shares

Expires 2029-08-08

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F1 · derivative.exercise_date: 4,666 of the shares were vested on the date of grant. The remaining 9,334 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 6

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,178

Underlying: Common Stock · 2,178 shares

Expires 2023-10-23

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 5

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2025-03-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 4

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2026-06-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing July 1, 2016, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 3

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500

Underlying: Common Stock · 3,500 shares

Expires 2027-01-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F4 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 2

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2028-01-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F3 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2029-08-08

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F1 · derivative.exercise_date: 4,666 of the shares were vested on the date of grant. The remaining 9,334 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-19-074516 · tm1926719d3_4.xml · derivative · entry 2

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,391

Underlying: Common Stock · 20,391 shares

Expires 2024-12-17

F1 · price: The Reporting Person on December 17, 2019, purchased 20,391 shares of the common stock of Capricor Therapeutics, Inc. (the "Issuer"), and accompanying amount of warrants to purchase up to an aggregate of 20,391 shares of the Issuer's common stock, at a combined purchase price of $1.226 per share of common stock and accompanying warrant, for a total cost of approximately US$25,000.

SEC source: 0001104659-19-074516 · tm1926719d3_4.xml · nonDerivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,391

F1 · price: The Reporting Person on December 17, 2019, purchased 20,391 shares of the common stock of Capricor Therapeutics, Inc. (the "Issuer"), and accompanying amount of warrants to purchase up to an aggregate of 20,391 shares of the Issuer's common stock, at a combined purchase price of $1.226 per share of common stock and accompanying warrant, for a total cost of approximately US$25,000.

SEC source: 0001104659-19-074514 · tm1926719d2_4.xml · derivative · entry 3

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,391

Underlying: Common Stock · 20,391 shares

Expires 2024-12-17

F1 · price: The Reporting Person on December 17, 2019, purchased 20,391 shares of the common stock of Capricor Therapeutics, Inc. (the "Issuer"), and accompanying amount of warrants to purchase up to an aggregate of 20,391 shares of the Issuer's common stock, at a combined purchase price of $1.226 per share of common stock and accompanying warrant, for a total cost of approximately US$25,000.

SEC source: 0001104659-19-074514 · tm1926719d2_4.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,891

F1 · price: The Reporting Person on December 17, 2019, purchased 20,391 shares of the common stock of Capricor Therapeutics, Inc. (the "Issuer"), and accompanying amount of warrants to purchase up to an aggregate of 20,391 shares of the Issuer's common stock, at a combined purchase price of $1.226 per share of common stock and accompanying warrant, for a total cost of approximately US$25,000.

SEC source: 0001104659-19-074513 · tm1926719d1_4.xml · derivative · entry 3

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,391

Underlying: Common Stock · 20,391 shares

Expires 2024-12-17

F1 · price: The Reporting Person on December 17, 2019, purchased 20,391 shares of the common stock of Capricor Therapeutics, Inc. (the "Issuer"), and accompanying amount of warrants to purchase up to an aggregate of 20,391 shares of the Issuer's common stock, at a combined purchase price of $1.226 per share of common stock and accompanying warrant, for a total cost of approximately US$25,000.

SEC source: 0001104659-19-074513 · tm1926719d1_4.xml · nonDerivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,304

F1 · price: The Reporting Person on December 17, 2019, purchased 20,391 shares of the common stock of Capricor Therapeutics, Inc. (the "Issuer"), and accompanying amount of warrants to purchase up to an aggregate of 20,391 shares of the Issuer's common stock, at a combined purchase price of $1.226 per share of common stock and accompanying warrant, for a total cost of approximately US$25,000.

SEC source: 0001144204-19-038994 · tv527323_form4.xml · derivative · entry 1

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,250

Underlying: Common Stock · 5,250 shares

Expires 2029-08-08

F1 · derivative.exercise_date: 3,000 of the shares shall vest immediately. The remaining 2,250 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-19-038997 · tv527328_form4.xml · derivative · entry 1

Marban Linda · CIK 0001593084 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-08-08

F1 · derivative.exercise_date: 5,000 of the shares shall vest immediately. The remaining 20,000 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-19-039001 · tv527332_form4.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,750

Underlying: Common Stock · 23,750 shares

Expires 2029-08-08

F1 · derivative.exercise_date: 8,000 of the shares shall vest immediately. The remaining 15,750 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-19-039000 · tv527331_form4.xml · derivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,750

Underlying: Common Stock · 8,750 shares

Expires 2029-08-08

F1 · derivative.exercise_date: 3,000 of the shares shall vest immediately. The remaining 5,750 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-19-038999 · tv527330_form4.xml · derivative · entry 1

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,750

Underlying: Common Stock · 4,750 shares

Expires 2029-08-08

F1 · derivative.exercise_date: 3,000 of the shares shall vest immediately. The remaining 1,750 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-19-038998 · tv527329_form4.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2029-08-08

F1 · derivative.exercise_date: 4,666 of the shares shall vest immediately. The remaining 9,334 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-19-038996 · tv527327_form4.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

Underlying: Common Stock · 4,500 shares

Expires 2029-08-08

F1 · derivative.exercise_date: 3,000 of the shares shall vest immediately. The remaining 1,500 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-19-038995 · tv527326_form4.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2029-08-08

F1 · derivative.exercise_date: 4,666 of the shares shall vest immediately. The remaining 9,334 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-039922 · tv499203_4.xml · derivative · entry 1

Ascheim Deborah · CIK 0001649531 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2018-07-24

F1 · derivative.exercise_date: 1/48th of the shares subject to the stock option award shall vest on the first day of each month, commencing August 1, 2018, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000865 · tv482722_4.xml · derivative · entry 1

Smith Rachel · CIK 0001593089 · Vice President of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 1/48th of the shares subject to the stock option award shall vest on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000864 · tv482721_4.xml · derivative · entry 1

Marban Linda · CIK 0001593084 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 66,488 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 33,512 shares will vest 1/12 on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000863 · tv482720_4.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,500

Underlying: Common Stock · 25,500 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 10,500 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 15,000 shares will vest 1/12 on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000862 · tv482719_4.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 1/48th of the shares subject to the stock option award shall vest on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000861 · tv482718_4.xml · derivative · entry 1

Kazam Joshua A · CIK 0001221355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 10,500 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 7,500 shares will vest 1/12 on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000856 · tv482714_4.xml · derivative · entry 1

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,500

Underlying: Common Stock · 30,500 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 10,500 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 20,000 shares will vest 1/12 on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000860 · tv482717_4.xml · derivative · entry 1

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 10,500 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 17,500 shares will vest 1/12 on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000859 · tv482716_4.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 35,000 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 25,000 shares will vest 1/12 on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000857 · tv482715_4.xml · derivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,000

Underlying: Common Stock · 38,000 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 10,500 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 27,500 shares will vest 1/12 on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000854 · tv482713_4.xml · derivative · entry 1

Ascheim Deborah · CIK 0001649531 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,122

Underlying: Common Stock · 43,122 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 35,000 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 8,122 shares will vest 1/12 on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000853 · tv482712_4.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 1/48th of the shares subject to the stock option award shall vest on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-009043 · tv485800_5.xml · nonDerivative · entry 2

Kazam Joshua A · CIK 0001221355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,298

F1 · kind: Gift by the Reporting Person for estate planning purposes to an irrevocable blind grantor trust, which is managed by an independent trustee. The Reporting Person holds no voting or dispositive power over the securities held by the trust.

SEC source: 0001144204-18-009043 · tv485800_5.xml · nonDerivative · entry 1

Kazam Joshua A · CIK 0001221355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,084

F1 · kind: Gift by the Reporting Person for estate planning purposes to an irrevocable blind grantor trust, which is managed by an independent trustee. The Reporting Person holds no voting or dispositive power over the securities held by the trust.

SEC source: 0001144204-18-000868 · tv482723_4.xml · derivative · entry 3

Smith Rachel · CIK 0001593089 · Vice President of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,748 shares

Expires 2018-01-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001144204-18-000868 · tv482723_4.xml · nonDerivative · entry 2

Smith Rachel · CIK 0001593089 · Vice President of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,504

F2 · shares: Reflects 2,244 shares withheld by the Issuer at the market price of $1.48 per share to fund the cashless exercise of 20,748 options.